Participating Dealer definition

Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

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Participating Dealer means a licensed broker or dealer who is (or who has appointed an agent or delegate who is) a person admitted for the time being by HKSCC as a participant of CCASS and who has entered into a Participation Agreement in form and substance acceptable to the Company, the Manager and the Custodian, and any reference in this Prospectus to “Participating Dealer” shall include a reference to any agent or delegate so appointed by the Participating Dealer.

Participating Dealer means a dealer other than the principal distributor that distributes securities of a mutual fund;

Examples of Participating Dealer in a sentence

Without limiting the generality of the foregoing, Participating Dealer agrees to provide its Customers a written notice regarding the availability of the FINRA Regulation Public Disclosure Program no less than once every calendar year pursuant to FINRA Rule 2267.
If Participating Dealer is exempt under federal and state securities laws from registration as a broker or dealer, Participating Dealer represents that it possesses the legal authority to perform the services contemplated by this Agreement without violating applicable law, and this Agreement shall automatically terminate in the event that Participating Dealer no longer possesses such authority.
Any notice to the Participating Dealer shall be duly given if mailed or telegraphed to the Participating Dealer at the address specified below.
Participating Dealer agrees that it will not offer Shares to persons in any jurisdiction in which it may not lawfully make such offer due to the fact that it has not registered under, or is not exempt from, the applicable registration or licensing requirements of such jurisdiction.
Participating Dealer further agrees that it will not withhold placing Customers’ Orders for Shares so as to profit as a result of such withholding or place Orders for Shares in amounts just below the point at which sales charges are reduced so as to benefit from a higher sales charge applicable to an amount below a breakpoint.

More Definitions of Participating Dealer

Participating Dealer means a broker or dealer who is (or who has appointed an agent or delegate who is) a Participant and who has entered into a Participation Agreement in form and substance acceptable to the Manager and Trustee, and any reference in this Prospectus to “Participating Dealer” shall include a reference to any agent or delegate so appointed by the Participating Dealer.

Participating Dealer means any eligible dealer who has entered into a Participation Agreement.

Participating Dealer means a broker or dealer (licensed for Type 1 regulated activity under the Securities and Futures Ordinance) which has entered into a Participation Agreement, and any reference in this Prospectus to “Participating Dealer” shall, where the context requires, include a reference to any PD agent so appointed by the Participating Dealer.

Participating Dealer means any participant who is a broker or dealer or such other person as may be approved by the Manager and the Trustee and who has entered into a Participant Agreement in form and substance acceptable to the Manager and the Trustee;

Participating Dealer means, in respect of a Listed Class, any licensed broker or dealer and who is (or who has appointed and agent or delegate who is) a Participant and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

Participating Dealer means any participant of CCASS who has entered into a Participation Agreement.

Participating Dealer means, in respect of each Sub-Fund, a broker or dealer (licensed for Type 1 regulated activity under the Securities and Futures Ordinance) which has entered into a Participation Agreement.